Reg BI

There are Recent Customer Complaints with Broker George Fellows in Firm Oppenheimer & CO. INC.

November 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker George Fellows (Fellows), currently associated with Oppenheimer & CO. INC., has at least one disclosable event. These events include one customer complaint, alleging that Fellows recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $500,000.00 on September 01, 2022.

The customer alleges that a misrepresentation was made regarding the purchase of a variable annuity in 2007.

There are Recent Customer Complaints with Broker Eugene Ziobron in Firm American Equity Investment Corporation

November 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Ziobron (Ziobron), previously associated with American Equity Investment Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Ziobron recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $70,000.00 on August 29, 2022.

Claimant made the following investments in the GWG L-bond: 50,000 in 2016, 10,000 in 2019 and 10,000 in March of 2020. Claimant alleges investment was unsuitable. On 4/20/22, GWG filed for Chapter 11 bankruptcy re-organization. This re-organization is currently pending.

There are Recent Customer Complaints with Broker James Yancey in Firm Edward Jones

November 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Yancey (Yancey), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Yancey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on September 07, 2022.

POA alleges FA failed to reallocate assets within variable annuity as instructed, resulting in market loss to the client.

There are Recent Customer Complaints with Broker Todd Bailey in Firm Cambridge Investment Research, INC.

November 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Bailey (Bailey), previously associated with Cambridge Investment Research, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bailey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $350,000.00 on September 01, 2022.

Client alleges tax implications due to sale of a stock.

There are Recent Customer Complaints with Broker Matthew Franchina in Firm Moloney Securities Co., INC.

November 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Franchina (Franchina), currently associated with Moloney Securities Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Franchina recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on September 02, 2022.

Suitability/negligence

Broker Felix Albert Desmangles in Wells Fargo Clearing Services, LLC Firm Has Customer Complaint

November 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Felix Albert Desmangles (Desmangles), previously associated with Wells Fargo Clearing Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Desmangles recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on September 02, 2022.

The executor of the estate complained that the financial advisor assured him that his account would not be at risk and misled him to believe the recommended account would be safe. (11/3/2020-9/2/2022)

Broker Carlos Cortez in World Equity Group, INC. Firm Has Customer Complaint

November 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlos Cortez (Cortez), previously associated with World Equity Group, INC., has at least 19 disclosable events. These events include 19 customer complaints, alleging that Cortez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $11,500.00 on September 06, 2022.

Client invested in a cryptocurrency fund that was recommended by the Advisor. The fund turned out to be a fraudulent investment.

There are Recent Customer Complaints with Broker Audrey Kuwabara in Firm Arque Capital, Ltd.

November 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Audrey Kuwabara (Kuwabara), previously associated with Arque Capital, Ltd., has at least one disclosable event. These events include one customer complaint, alleging that Kuwabara recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $1,700,000.00 on September 08, 2022.

Claimant has purchased a number of GWG products since 2011. GWG filed Chapter 11 bankruptcy as a debtor in possession in April 2022. Claimant files this claim against Respondent Arque for a number of causes of action including but not limited to breach of fiduciary duty, breach of contract, negligence and violation of various state and federal securities laws. Claimant files this claim against Respondents Kuwabara, Ning and Scanlon for control person liability. Respondents deny all allegations in their entirety.

Broker Peter Maldjian in National Securities Corporation Firm Has Customer Complaint

November 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Maldjian (Maldjian), previously associated with National Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Maldjian recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $116,279.00 on September 06, 2022.

Allege that RR & Firm improperly authorized transactions with the consent of both co-trustees.

Broker Kevin Asano in Cetera Advisors LLC Firm Has Customer Complaint

November 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Asano (Asano), currently associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Asano recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $500,000.00 on September 09, 2022.

Claimants allege financial adviser recommended unsuitable investments. Claimants further allege causes of action of suitability, misrepresentation, breach of contract and failure to supervise.